券商集合资产管理业务发展及监管对策探析

发布时间：2019-03-29 20:05

【摘要】：证券公司综合治理前资产管理业务极不规范。综合治理为券商集合资产管理业务规范发展奠定了制度基础,集合资产管理业务重获新生,得到了很大发展。本文着重分析了券商集合资产管理业务发展中存在的规模弱小、运行效率不高、产品销售存在制约、产品发行与投资主流和市场运行存在偏差、风险管理与产品创新不够等问题,提出了树立"逆周期监管"理念,放松管制,加强监管,拓展营销,鼓励券商进行业务创新等推动集合资产管理业务持续健康发展的监管对策。
[Abstract]:The business of asset management before comprehensive management of securities companies is extremely non-standard. Comprehensive governance has laid the institutional foundation for the standardized development of securities firms' pooled asset management business, and the integrated asset management business has been reborn and greatly developed. This paper focuses on the analysis of the weak scale, low operating efficiency, product sales constraints, the mainstream of product issuance and investment and the deviation of market operation in the development of securities firms' pooled asset management business, which are weak in scale, inefficient in operation, and restricted in product sales. Some problems such as insufficient risk management and product innovation are put forward to set up the concept of "counter-cyclical supervision", relax regulation, strengthen supervision and expand marketing. Encourage securities firms to carry out business innovation and other regulatory measures to promote the sustainable and healthy development of pooled asset management business.
【作者单位】：中国证监会重庆监管局;
【分类号】：F832.51

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